Case File
efta-01480058DOJ Data Set 10OtherEFTA01480058
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01480058
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
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IP. Morgan Account Suitability Supplement
J. P. Morgan
A. Account Information (required for JPMS Brokerage and Investment Management accounts)
Title of Account: SOUTHERN TRUST COMPANY, INC
Personal Accounts
0 individual
0 Community Property
0 Transfer on Death (TOO)
0 UTMA/UGMA
Primary Account Owner:
Number of Dependents
Name of Employer
ormaigni
Total Net Worth excl.
Owner Annual Income (S)
Liquid Net Worth (5)
primary residence (5)
Joint Account Owner:
Annual Income (11
Entity Accounts
0 Corporation
0 Partnership
0 PIC/PHC (applicable to International entitles only)
0 Sole PrIprietorship
0 Foundation
0 Endowment
0 limited liability Company
0 Limited Liability Partnership
0 Other Non Profit
Annual Income (5) 5,000.000
Liquid Net worth (025,000,000
Total Net Worth (5) 30,000,000
Trust/Estate Accounts
0 Trust 0 Estate
0 Endowment 0 Foundation
0 ERISA Plan
0 Other Charitable Trust
0 Other
Trust/Estate liquid Net Worth (5)
Trust/Estate Total Net Worth ($)
B. Affiliations (required for JPMS Brokerage and Investment Management accounts)
Applicable to account owners or authorized signers or trustees and executors.
I, my spouse, or immediate family member who receives material support from me or gives material support to me is, or has been, a
director, corporate officer, control person, affiliate or an owner of 10% of a public corporation's stock:
0 Yes 0 No
If yes, name of person
Name of corporation
If yes, is the corporation traded publicly on a V.S. Stock exchange?
K Yes
No
I, my spouse, immediate family member who receives material support from me or gives material support to me, or an individual
controlling the account Is employed by or associated with an FCM, broker-dealer, a futures or securities exchange, the NFA or FINRA,
the CFTC, SEC or the MSRB:
0 Yes
fa No
If yes,• name of employer
Name of employee/assoc
Accountholder or immediate family member or another household member is an employee of a financial institution or insurance
company:
In Yes pg No
If yes*, name of institution
Name of employee/assoc.
•If Yes, Broker-Dealer and FINRA member financial institutions must provide written permission on corporate letterhead to open a
Brokerage. Margin, or Investment Management account.
0 Joint (3TWROS/JAWROS for TX residents)
0 Tenants In Common
°Tenants by the Entirety
0 IRA
C. Brokerage Account Information (required for JPMS Brokerage accounts only)
Investment Profile
My objective for this account (check one):
0 Capital Preservation
0 Income Generation
0 Capital Appreciation
Speculative or aggressive investments that may anerate higher returns but may be riskier than other investments because I may
lose all or part of my Investment (check one):
09 Are permitted in this account
0 Are not permitted in this account
Primary source of income:
0 Investments
0 Compensation
0 Pension
0 Other
Please indicate the number of years of personal trading experience for the authorized party(s) on this account:
Hedge Funds/
Private
A
FA'
rnrod
Commodities_....
10
10
1
ure° 10 Options 10 Eptlilerruguit7 10
10 VIM'
10
Stocks
Dorris
FX
Adducts
Placements "
I currently have brokerage accounts with the following firms: NO
Approximate value of investable assets held away from the firm? $ 1,000,000
Those assets are Invested In the following Asset Classes: ME/unties ®Fixed Income IN Cash MAlternative Investments 00ther
Most of those assets are invested In:
®Equities
0 Fixed Income & Cash
0Alternative Investments
0 Other
Check only one selection for Investment Time Horizon, Primary Liquidity Needs, and Secondary Liquidity Needs
Investment lime Horizon:
0 Less than 1 year
0 1-5 years
0 6-10 years
18) Greater than 10 years
Primary Liquidity Needs:
Secondary Liquidity Needs:
0Short Tenn
0 Medium Term
0Short Term
0 Medium Term
fel Long Term
0 None
0 Long Term
0 None
J.P. Morgan Use Only
Page 1 of 2
SOUTHERN TRUST COMPANY, INC Title
SPN
NELSON D JUSTIN Banker/Investor
3/13 1522
Confidential Treatment Requested by
JPMorgan Chase
CONFIDENTIAL
JPM-SDNY-00002107
SDNY_GM_00271305
EFTA01480058
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